Honorable Anne E. LazarusHonorable Robert A. Graci

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Errant JudgesWhats a Lawyer to Do?

• Honorable Anne E. Lazarus Honorable Robert A.
  Graci
• Superior Court of Pennsylvania Chief Counsel
• Chair, Judicial Conduct Board Judicial Conduct
  Board
• Honorable Jayne Frances Duncan Elizabeth A.
  Flaherty
• Magisterial District Judge Deputy Counsel
• Vice Chair, Judicial Conduct Board Judicial
  Conduct Board

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Code of Judicial Conduct Applies to Supreme
Court Justices Superior Court
Judges/commonwealth court judges common pleas
court judges Philadelphia municipal court
judgesRules Governing Standards of Conduct of
Magisterial District Judges apply
to magisterial district judges Philadelphia
traffic court judges

• Judges are held to high standard of conduct

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An independent, fair, honorable and impartial
judiciary is indispensable to our system of
justice. The Pennsylvania legal system is founded
upon the principle that an independent, fair,
impartial, and competent judiciary, composed of
persons of integrity, will interpret and apply
the law that governs our society. The judiciary
consequently plays a fundamental role in ensuring
the principles of justice and the rule of law.
The rules contained in this Code necessarily
require judges, individually and collectively, to
treat and honor the judicial office as a public
trust, striving to preserve and enhance
legitimacy and confidence in the legal system.
Judges should uphold the dignity of judicial
office at all times, avoiding both impropriety
and the appearance of impropriety in their
professional and personal lives. They should at
all times conduct themselves in a manner that
garners the highest level of public confidence in
their independence, fairness, impartiality,
integrity, and competence. Code of judicial
conduct and rules governing the standards of
conduct of magisterial district judges, PREAMBLE
2 and 3

• PREAMBLE
• Overarching Principles

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Code of Judicial Conduct(UNTIL JULY 1, 2014)

• Canon 1 A Judge should uphold the integrity and
  independence of the Judiciary.
• Canon 2 A Judge should avoid impropriety and the
  appearance of impropriety in all activities.
• Canon 3 A Judge should perform the duties of the
  office impartially and diligently.
• Canon 4 A Judge may engage in activities to
  improve the law, the legal system, and the
  administration of justice.
• Canon 5 A Judge should regulate extra-judicial
  activities to minimize the risk of conflict with
  judicial duties.
• Canon 6 Compensation received for quasi-judicial
  and extra judicial activities permitted by this
  code.
• Canon 7 A Judge should refrain from political
  activity inappropriate to judicial office.

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Code of Judicial Conduct(JULY 1, 2014 AND AFTER)

• Canon 1 A judge shall uphold and promote the
  independence, integrity, and impartiality of the
  judiciary, and shall avoid impropriety and the
  appearance of impropriety.
• Canon 2 A judge shall perform the duties of
  judicial office impartially, competently, and
  diligently.
• Canon 3 A judge shall conduct the judges
  personal and extrajudicial activities to minimize
  the risk of conflict with the obligations of
  judicial office.
• Canon 4 A judge or candidate for judicial office
  shall not engage in political or campaign
  activity that is inconsistent with the
  independence, integrity, or impartiality of the
  judiciary.

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Rules Governing Standards of Conduct of
Magisterial District Judges(Until December 1,
2014)

• RULE 1 Integrity and Independence of Judiciary
• RULE 2 Impropriety and Appearance of Impropriety
  to be Avoided Voluntary Appearance as Character
  Witness Prohibited
• RULE 3 Priority of Judicial Business
• RULE 4 Adjudicative Responsibilities
• RULE 5 Administrative Responsibilities
• RULE 6 Public Comment
• RULE 7 Broadcasting, Televising, Recording,
  Photography
• RULE 8 Disqualification
• RULE 9 Remittal of Disqualification Minimizing
  Disqualifications
• RULE 10 Information Acquired in Judicial
  Capacity
• RULE 11 Solicitation of Funds
• RULE 12 Gifts and Loans
• RULE 13 Incompatible Practices
• RULE 14 Prohibited Practice of Attorney
  Magisterial District Judges
• RULE 15 Public Office and Political Activity
• RULE 16 Transfer of Dockets and Other Papers
• RULE 17 Supervision of Magisterial District
  Courts by President Judges
• RULE 18 Applicability to Judges of the Traffic
  Court of Philadelphia

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Rules Governing Standards of Conduct of
Magisterial District Judges(December 1, 2014 and
After)

• Canon 1 A magisterial district judge shall
  uphold and promote the independence, integrity,
  and impartiality of the judiciary, and shall
  avoid impropriety and the appearance of
  impropriety.
• Canon 2 A magisterial district judge shall
  perform the duties of judicial office
  impartially, competently, and diligently.
• Canon 3 A magisterial district judge shall
  conduct the magisterial district judges personal
  and extrajudicial activities to minimize the risk
  of conflict with the obligations of judicial
  office.
• Canon 4 A magisterial district judge or
  candidate for judicial office shall not engage in
  political or campaign activity that is
  inconsistent with the independence, integrity, or
  impartiality of the judiciary.

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Comparison of Old Code and Standards to New

• Preamble (New)
• Terminology Section (New)
• Application Section (New)
• 4 Canons
• 38 Rules
• 128 Comments (Code)-125 (Standards)

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Pennsylvania Judges Must

• Administer justice fairly, ethically, uniformly,
  promptly and efficiently
• Be free from personal bias
• Issue prompt rulings and make decisions that
  demonstrate competent legal analysis
• Act with dignity, courtesy and patience
• Effectively manage their courtrooms and the
  administrative responsibilities of their office
  staff and
• Comply with the law.

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Conduct of Judges
Judicial Conduct Board Authority
Pennsylvania Constitution Article V, 17, 18
Decisions of the Pennsylvania Supreme Court, the
Special Tribunal the Court of Judicial
Discipline
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Judicial Conduct Board Pennsylvania Constitution,
Article V, Section 18(a)
6 Public Members 3 Attorneys 3 Judges
Supreme Court (6)
Governor (6)
Governor (6)
Jurisdiction
Appellate Courts
Common Pleas Phila. Municipal Court
1200 Judicial Positions
Magisterial District Judges Traffic Court Judges
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JCB Mission Statement

• Preserving the honor, dignity, independence, and
  integrity of Pennsylvanias judiciary

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Judicial Conduct BoardInvestigative Powers

• Investigative interviews
• Investigative subpoenas
• For records
• For testimony (depositions)

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Dismissal After Preliminary Investigation
Citizens Complaint
Notice of Full Investigation
Judicial Conduct Board The Board investigates
complaints of Judicial misconduct and, if
warranted, Files formal charges with the Court Of
Judicial Discipline
Letter of Caution
Letter of Counsel
Court of Judicial Discipline The Court hears
formal charges brought Against a judge by the
Board and decides Whether or not to impose
discipline, And if so, what that discipline
should be.
Pennsylvania Supreme Court Appeals from Court of
Judicial Discipline Supervisory authority over
UJS, Pa. Const. Art. V, 10
CONFIDENTIAL (PA Constitution Article
18(a)(8))
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Court of Judicial DisciplinePennsylvania
Constitution, Article V, Section 18(b)

• 2 Non-lawyer Electors (Public Members)
• 1 appointed by Governor and 1 appointed by
  Supreme Court
• 2 Attorneys (Non-judge Members of the Bar)
• 2 appointed by Governor
• 4 Judges (3 from the Superior, Commonwealth or
  Common Pleas Courts 1 Magisterial District
  Judge)
• 2 judges and 1 magisterial district judge
  appointed by Supreme Court
• 1 judge appointed by the Governor

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Court of Judicial Discipline

• court of record
• authorized to adopt rules to govern the conduct
  of proceedings before the court
• charges filed with the court are public record
• hearings are public and conducted pursuant to
  courts rules (in accord with principles of due
  process and law of evidence )
• parties in court have right to discovery pursuant
  to courts rules, including right to subpoena
  witnesses and documents
• charged judge is presumed innocent in any
  proceeding before the court
• Board has burden of proving the charges by clear
  and convincing evidence
• decisions of the court must be in writing contain
  findings of fact and conclusions of law

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Possible CJD SanctionsPennsylvania Constitution,
Article V, Section 18(d)

• Reprimand (otherwise disciplined)
• Personal Appearance before CJD
• Probation (otherwise disciplined)
• Suspension
• With Pay
• Without Pay
• Removal
• Disrepute
• Felony
• Prejudicing Administration of Justice

Pension forfeiture (SERS)
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Sources of Complaints

• Litigants
• Family Members
• Public
• Media
• Attorneys
• Judges
• Board/Chief Counsel
• Anonymous

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The Board Considers Allegations Regarding

• Judicial Misconduct
• Mental or Physical Disability (including
  substance abuse) - Diversion Pennsylvania
  Constitution, Article V, Section 18(a)(9)

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AREAS OF COMPLAINTS SEEN BY JUDICIAL CONDUCT BOARD

• - Judges who make mistakes
• - Judges who do dumb things
• - Judges who do evil things

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Nature of Complaints

• Abuse of Power Rule 1.3
• Administrative Failures, Treatment of Court
  Staff, Improper Delegation
• Delay Rule 2.5(A)
• Statement of Financial Interest Rule 3.15
• Abusing Court Employees Rule 2.8(B)

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Nature of Complaints

• Campaign Conduct Canon 4
• Cannot
• Publicly Endorse Political Candidates- 4.1(A)(3)
• Solicit Funds For Party or Own Candidacy-
  4.1(A)(7)
• Misrepresent Facts-4.1(A)(9)
• Criminal Conduct Rule 1.1

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Nature of Complaints

• Demeanor, Impartiality, and Comments on the Bench
• Rude and Abusive Behavior
• Judicial Bias (Failure to Remain Impartial)
• Sexual Harassment
• Impropriety and the Appearance of Impropriety
• Delay Lack of Diligence

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Nature of Complaints

• Disqualification/Recusal/Disclosure
• Economic Interest - Rule 2.11(A)(2)
• Personal Bias or Prejudice - Rule 2.11(A)(1)
• Large Campaign Contributions - Rule 2.11(A)(4)
• Ex Parte Communications - Rule 2.9
• Communicating With Only One of the Parties or
  Lawyers
• Independent Investigation of Facts - Rule 2.9(C)

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Nature of Complaints

• Failure to Cooperate with Board Lying to Board
  Asking Witness to Lie Retaliating Against
  Complainant Rule 2.16
• Failure to Follow the Law Legal Error Abuse of
  Discretion Rule 1.1

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Nature of Complaints

• Personal Misconduct
• Criminal Conduct - 1.1
• Gift/Loan From Litigant or Attorney 3.13
• Misuse of the Office 1.3 and 2.13
• Dealings With Lawyers or Other Persons Likely to
  Come Before the Court 3.13

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Judicial Conduct Checklist

• How does your conduct appear to someone else?
• Apply the HEADLINE TEST

• Is the conduct undignified or does it otherwise
  reflect poorly on the judiciary?
• Are you personally involved in a legal proceeding
  related to any of the parties, the attorneys, or
  the subject matter of a case brought before you?
• Does the conduct offend anyone or make you appear
  to be prejudiced or biased?
• Is the conduct lawful?

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Demeanor and Impartiality Checklist

• Rule of thumb
• A judge should
• (1) hear courteously
• (2) answer wisely
• (3) consider soberly
• (4) decide impartially

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Administrative Duties Checklist

• Diligence (2.5)
• Keep regular hours
• Rule promptly
• Monitor cases taken under advisement
• Give highest priority to your judicial duties
• Reporting Requirements

• Conform to Supreme Court regulatory requirements.
• Ensure compliance with statutory requirements

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Political Activities Checklist

• Is judge or judicial candidate personally
  soliciting campaign funds?
• Is judge or judicial candidate personally
  soliciting campaign funds from an attorney or
  from a party in a pending case?
• Is judge or judicial candidate engaging in
  fundraising or attending a fundraiser for another
  political candidate?
• Is judge using official judicial letterhead for
  campaign purposes?
• Is judicial staff campaigning for judge?

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LAWYERS ETHICAL OBLIGATION

• A LAWYER WHO KNOWS THAT A JUDGE HAS COMMITTEED A
  VIOLATION OF APPLICABLE RULES OF JUDICIAL CONDUCT
  THAT RAISES A SUBSTANTIAL QUESTION AS TO THE
  JUDGES FITNESS FOR OFFICE SHALL INFORM THE
  APPROPRIATE AUTHORITY.
• RULE OF PROFESSIONAL CONDUCT 8.3(B)

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Contact Information

• JUDICIAL CONDUCT BOARD
• Pennsylvania Judicial Center
• 601 Commonwealth Avenue, Suite 3500
• P.O. Box 62525
• Harrisburg, PA 17120-0901
• [phone]
• www.jcbpa.org